SEC Litigation

The lawyers at Shendell & Pollock, P.L. and their associates have defended securities class action, shareholder derivative, and other shareholder litigation, SEC investigations and enforcement proceedings, and related litigation and regulatory matters. We represent corporations, officers, directors, as well as broker-dealers, and other institutional investors, in a wide array of complex and transaction-based litigation and governmental investigations. We also coordinate with the SEC Enforcement Division to respond to investigation requests, negotiating the resolution of enforcement actions, and obtaining successful results for our clients.

Our lawyers also counsel clients in matters of risk avoidance and corporate governance, including how to comply with corporate governance standards, including Sarbanes-Oxley, in order to reduce the risk of liability for securities litigation and government enforcement actions. We differ from many other law firms because we understand business objectives, corporate finance and accounting.

Our work often consists of real-time involvement in corporate transactions in order to avoid or aggressively resolve deal-threatening problems in connection with mergers and acquisitions, initial public offerings, shareholder buyouts, recapitalizations, going private transactions, and other fast moving matters of vital corporate importance. Our attorneys offer a sophisticated mix of corporate and litigation experience in counseling clients on corporate governance issues concerning various takeover-related subjects, public disclosure matters, the fiduciary duties of directors and officers, and safeguards against insider trading.